DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

E••••••• M••••••• G••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 153442SEC 801-72439IAPD
Latest filing Jun 30, 2015
First filing on the tape Mar 26, 2012 · 11 filings
RAUM
$100M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$62.1M gross assets
History
11 filings and snapshots on the tape
RAUM$100M as of Jun 30, 2015
Mar 26, 2012$68.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2015
Mar 26, 20120 then
Employees (5.A)3 as of Jun 30, 2015
Apr 30, 201311 then
Private funds4 as of Jun 30, 2015
Mar 26, 20124 then
RAUM +0.0% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, educational seminars, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• S••••••• I•• A•••• S••••••• F•••Other Private Fund$54.8M87Mar 26, 2012
      S••••••• B•••••••• E••••••• F•••Other Private Fund$3.7M1Mar 26, 2012
      W•• S•••••• A•• T••••••••• F•••Other Private Fund$1.9M5Mar 26, 2012
      W•• U• L•••• C•• G•••••Other Private Fund$1.7M3Mar 26, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••• K•••• · Chief Executive Officer - Partner-Ccocontrol
        since 12/2008 · owns 50% to 75%
      • F••••••• P••••••• J••••• · Limited Partner
        since 03/2009 · owns less than 5%
      • M•••••• C••••••••• K•••• · Limited Partner
        since 02/2010 · owns less than 5%
      • T•••••• R•••••• E••••• · Limited Partner
        since 02/2010 · owns less than 5%
      • C•••••• K•••••••• A•• · Managing Member
        since 05/2008 · owns 75% or more of C•••• R•••• C•••••• L••
      • R••••••••• M•••• R••••• · Beneficial Owner
        since 12/2010 · owns 75% or more of C••••••• H•••••• I•••
      Entity owners
      • E••••••• M••••••• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • T••••• F••••• T•••• · Limited Partner
        direct · owns 25% to 50%
      • G•••• P••••••• L•• · Shareholder
        indirect · owns 25% to 50% of T•• C•••••• F••• L•
      • C•••• R•••• C•••••• L•• · Limited Partner
        direct · owns less than 5%
      • C••••••• H•••••• I••• · Limited Partner
        direct · owns 5% to 10%
      • M•••••• O••••• S••••••••• L••• · Limited Partner
        direct · owns less than 5%
      • T•• C•••••• F••• L• · Limited Partner
        direct · owns less than 5%
      • V•••• A• · Limited Partner
        direct · owns less than 5%
      • W•••••• • R••• F•••••••• I••• · Limited Partner
        direct · owns 10% to 25%
      • W•••• W••••••• H••••••• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 1
        Jul 9, 2014 to Jun 30, 2015
      • BD registered reps · 6 to 1
        Jul 9, 2014 to Jun 30, 2015
      • Employees · 11 to 3
        Jul 9, 2014 to Jun 30, 2015
      • Accounts · 3 to 1
        Feb 26, 2014 to May 7, 2014
      • Advisory activities · 3 to 4
        Feb 26, 2014 to May 7, 2014
      • Discretionary RAUM · $113M to $0
        Feb 26, 2014 to May 7, 2014
      • Non-discretionary RAUM · $0 to $100M
        Feb 26, 2014 to May 7, 2014
      • RAUM · $113M to $100M
        Feb 26, 2014 to May 7, 2014
      • BD registered reps · 0 to 6
        Dec 21, 2012 to Apr 30, 2013
      • Discretionary RAUM · $0 to $113M
        Dec 21, 2012 to Apr 30, 2013
      • Non-discretionary RAUM · $101M to $0
        Dec 21, 2012 to Apr 30, 2013
      • RAUM · $101M to $113M
        Dec 21, 2012 to Apr 30, 2013
      • Related bank · true to false
        Dec 21, 2012 to Apr 30, 2013
      • Advisory employees · unset to 4.0
        Oct 8, 2012 to Nov 28, 2012
      • Employees · unset to 11.0
        Oct 8, 2012 to Nov 28, 2012
      • Accounts · 4 to 3
        Mar 26, 2012 to Oct 8, 2012
      • Non-discretionary RAUM · $68.3M to $101M
        Mar 26, 2012 to Oct 8, 2012
      • RAUM · $68.3M to $101M
        Mar 26, 2012 to Oct 8, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026